DFX Intelligence

RIA Intelligence

Advisor moves

Departures from Spc

A move is two dates on IAPD: the day a person’s registration through one firm ended and the day a registration through another began. The type reads the class of each firm. This is the movement tape the mobility research is validated against; it says what happened, never why, and never who is about to.

AdvisorFromToTypeLeftRegistered
Cyril Stephen WhiteSpc otherLPL Financial LLC otherOtherMar 11, 2014Mar 11, 2014
Timothy James WilliamsSpc otherCurian Capital, LLC otherOtherJan 27, 2014Jan 14, 2016 (717 d)
Trevor Joseph WurtzebachSpc otherJ.P. Morgan Securities LLC wirehouseOtherDec 31, 2013Jan 14, 2014
Marc G GagniSpc otherGagni Wealth Management LLC state registeredOtherDec 31, 2013Jan 3, 2014
Carmela Commisso BowmanSpc otherCommonwealth Financial Network national BDOtherDec 9, 2013Dec 10, 2013
Christopher Fredrick RuegerSpc otherInternational Assets Investment Management, LLC otherOtherDec 2, 2013Jan 10, 2014 (39 d)
Cody James LewisSpc otherCg Advisory Services otherOtherNov 18, 2013Feb 19, 2013
Kevin K HeinrichSpc otherSecurities America Advisors, Inc. otherOtherNov 8, 2013May 15, 2015 (553 d)
Garry Eugene AutrySpc otherMoney Concepts Advisory Service otherOtherNov 1, 2013Oct 31, 2013
Michael P. PalmerSpc otherInvest Financial Corporation otherOtherOct 14, 2013Oct 14, 2013
Andrew Vito ManiaciSpc otherCuso Financial Services, L.P. otherOtherOct 14, 2013Oct 24, 2013
Sara Frances Kasun-FretzSpc otherMorningstar Investment Services LLC otherOtherOct 10, 2013Dec 11, 2013 (62 d)
Lee Lindsay MilesSpc otherLee Miles LLC state registeredOtherOct 7, 2013Jun 20, 2014 (256 d)
Michael Thomas FidlerSpc otherJ. W. Cole Advisors, Inc. otherOtherOct 7, 2013Oct 22, 2013
Barry L MossSpc otherSowell Management otherOtherOct 4, 2013Oct 14, 2013
Matthew Brian BoersenSpc otherSa Advisory LLC unclassifiedOtherJul 16, 2013Sep 7, 2017 (1514 d)
Amy Peschl BattaSpc otherHi-Line Capital Management, LLC institutionalOtherJul 12, 2013Jan 4, 2023 (3463 d)
Daniel Michael StavaleSpc otherSimplyria Advisor Network otherOtherJul 9, 2013Aug 14, 2013 (36 d)
Eric Edward WegnerSpc otherMeric Capital Management, LLC unclassifiedOtherJul 2, 2013Dec 23, 2013 (174 d)
Douglas B. HughesSpc otherCfci otherOtherMay 28, 2013Jun 18, 2004
Ryan Thomas BelcherSpc otherJ. W. Cole Advisors, Inc. otherOtherMay 28, 2013May 28, 2013
Brian Dufort LowerySpc otherOnpointe Advisory And Financial Services, LLC otherOtherMay 24, 2013May 7, 2015 (713 d)
Dennis Wayne ThackerSpc otherJ. W. Cole Advisors, Inc. otherOtherMay 23, 2013May 31, 2013
Matthew K BrandSpc otherJ.P. Morgan Securities LLC wirehouseOtherMay 17, 2013May 16, 2013
Ed MaisonetSpc otherAmeriprise Financial Services, LLC national BDOtherMay 14, 2013May 15, 2013
Daniel Lee HaysSpc otherCfci otherOtherMay 6, 2013Jan 25, 2005
James John MorrisonSpc otherGlobal Financial Private Capital, Inc. otherOtherMay 1, 2013May 10, 2013
David Keith HaysSpc otherCfci otherOtherApr 9, 2013Oct 22, 2003
Robert Allen ZeinerSpc otherTlg Advisors, Inc. otherOtherApr 2, 2013Sep 19, 2014 (535 d)
James C MarshalSpc otherInstitute For Wealth Advisors, Inc. otherOtherMar 4, 2013Mar 27, 2013
Rocky Harold John IstvanSpc otherGlobal Financial Private Capital, Inc. otherOtherMar 1, 2013Apr 3, 2013 (33 d)
Daniel Martin KrugSpc otherGlobal Financial Private Capital, Inc. otherOtherMar 1, 2013Mar 4, 2013
Gregory Lloyd BernhardtSpc otherNpb Financial Group, LLC otherOtherFeb 19, 2013Sep 14, 2016 (1303 d)
Michael A AcevedoSpc otherPublic Safety Financial/Galloway otherOtherFeb 8, 2013Feb 14, 2013
Mark Duane GarrodSpc otherCuso Financial Services, L.P. otherOtherDec 31, 2012Jan 2, 2014 (367 d)
Thomas Lorenzo BausleySpc otherQuestar Asset Management, Inc. otherOtherDec 31, 2012Oct 21, 2013 (294 d)
Carol Ann SchmidlinSpc otherGlobal Financial Private Capital, Inc. otherOtherDec 31, 2012Jan 9, 2013
Jeffrey Michael DiefenthalerSpc otherAdvice And Planning Services otherOtherDec 14, 2012Jan 14, 2013 (31 d)
Denise Marie BaranowskiSpc otherWoodbury Financial Services, Inc. otherOtherDec 10, 2012Dec 11, 2012
Gerald E ShawSpc otherSummit Financial Group Inc otherOtherNov 12, 2012Nov 9, 2012
Kathleen Marie FaulknerSpc otherFaulkner Financial Planning, LLC state registeredOtherNov 2, 2012Jan 30, 2013 (89 d)
Mark Curtis ScottSpc otherHorter Investment Management, LLC otherOtherNov 2, 2012Jul 11, 2017 (1712 d)
David John SullivanSpc otherDimensional Fund Advisors LP otherOtherOct 31, 2012Jun 24, 2013 (236 d)
Karlie Bierie SkidmoreSpc otherMorgan Stanley wirehouseOtherOct 26, 2012Nov 13, 2012
George Robert VeaterSpc otherLPL Financial LLC otherOtherOct 22, 2012Oct 23, 2012
Eugene Robert PenderSpc otherCoppell Advisory Solutions LLC independent RIAOtherOct 22, 2012Jan 1, 2026 (4819 d)
Kevin Luke PriceSpc otherCornerstone Wealth Management, LLC no RAUMOtherOct 1, 2012Oct 10, 2012
Christopher RichardsonSpc otherCambridge Investment Research Advisors, Inc. otherOtherJul 9, 2012Jul 9, 2012
Charles Steven HammondSpc otherCambridge Investment Research Advisors, Inc. otherOtherJul 9, 2012Jul 9, 2012
Catherine Gao HsuSpc otherAlpha Strategies Investment Consulting state registeredOtherJun 13, 2012Apr 1, 2015 (1022 d)
Giovanni Attilio VolpeSpc otherWells Fargo Advisors wirehouseOtherJun 4, 2012Jun 5, 2012
Chet Allen TeichmanSpc otherCambridge Investment Research Advisors, Inc. otherOtherJun 4, 2012Jun 1, 2012
Asalyn Dubois CoachmanSpc otherFai Advisors, Inc. independent RIAOtherJun 4, 2012Jun 14, 2012
Levant Miguel BishopSpc otherChicago Capital Management Advisors, LLC otherOtherApr 24, 2012Mar 6, 2014 (681 d)
Jeffrey Roger SegelkeSpc otherAllegis Investment Advisors, LLC otherOtherApr 19, 2012Sep 11, 2012 (145 d)
Christopher Derek SweeneySpc otherAmeriprise Financial Services, LLC national BDOtherApr 18, 2012Apr 18, 2012
Jerry Lee ClineSpc otherSterne Agee Investment Advisor Services, Inc. otherOtherMar 6, 2012Mar 13, 2012
Steven Su LiangSpc otherCuso Financial Services, L.P. otherOtherJan 4, 2012Jan 4, 2012
David Fairfield Pratt GuyettSpc otherCommonwealth Financial Network national BDOtherJan 3, 2012Jan 3, 2012
Edward Charles VonlangeSpc otherCommonwealth Financial Network national BDOtherDec 31, 2011Jan 3, 2012
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620 moves match.